Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 25, 2018 indicate that Florida-based Oppenheimer & Company broker/adviser Ronald Bucher, who has received customer disputes, recently resigned from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bucher (CRD# 1804910).
Ronald Bucher has spent 30 years in the securities industry and has been registered with Oppenheimer & Company in Fort Myers, Florida since July 2018. Previous registrations include Raymond James & Associates in Fort Myers, Florida (2007-2018); McDonald Investments in Fort Myers, Florida (2003-2007); Stanford Group Company in Houston, Texas (2001-2003); Josephthal & Company in New York, New York (1998-2001); AG Edwards & Sons in St. Louis, Missouri (1997-1998); Prudential Securities in New York, New York (1994-1997); Josephthal Lyon & Ross in New York, New York (1991-1994); Josephthal & Comapny (1990-1991); Hanifen Imhoff Securities Corporation (1990); Moore & Schley Cameron & Company (1989-1990); Dean Witter Reynolds (1988-1989); and Glickenhaus & Company (1988). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 16, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 25, 1989; and Series 7 (General Securities Representative Examination), which he obtained on March 19, 1988.. He is a registered broker and investment adviser with 21 US states and territories: California, Colorado, Florida, Hawaii, Idaho, Illinois, Indiana, Maryland, Massachusetts, Michigan, Minnesota, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Virginia, and Wisconsin.
According to his BrokerCheck report, he has received two customer complaints, recently resigned from a former employer in connection to alleged rule violations, and was discharged from two former employers in connection to alleged rule violations.
In July 2018 he submitted his voluntary resignation from Raymond James & Associates in connection to allegations that “multiple clients had stated” he executed trades in non-discretionary accounts without speaking to them beforehand.
In 2002 a customer alleged Ronald Bucher, while employed at Stanford Group Company and Josephthal & Company, breached his fiduciary duty, executed unauthorized trades, misrepresented and omitted material facts, breached contract, acted negligently, and committed common law fraud. The complaint resulted in an award to the customer of $10,000.
In 1998 he was discharged from his position at AG Edwards & Sons in connection to allegations he exercised discretion without proper written authorization.
In 1997 a customer alleged Ronald Bucher, while employed at Prudential Securities Incorporated, executed unauthorized and unsuitable trades. The complaint settled for $13,500.
In 1997 he was terminated from his position at Prudential Securities in connection to allegations he entered an order at the instruction of a deceased client’s power of attorney after the client had died and “failed to close account and reopen under deceased title.”
If you or someone you know has a complaint regarding Ronald Bucher, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.